Texas State Records Retention Schedule

1 Texas State Records Retention Schedule 5th Edition Effective May 10, 2020 Texas Administrative Code, Title 13, Chapter 6, Section Texas State LIBRARY AND ARCHIVES COMMISSION ii CAUTION A State record whose Retention period has expired may not be destroyed if any litigation, claim, negotiation, audit, public information request, administrative review, or other action involving the record is initiated; its destruction shall not occur until the completion of the action and the resolution of all issues that arise from it. A State record whose Retention period expires during any litigation, claim, negotiation, audit, public information request, administrative review, or other action involving the record may not be destroyed until the completion of the action and the resolution of all issues that arise from it. iii INQUIRIES AND COMMENTS REGARDING THIS Schedule SHOULD BE DIRECTED TO: Texas State LIBRARY AND ARCHIVES COMMISSION State AND LOCAL Records MANAGEMENT DIVISION PO BOX 12927 AUSTIN, Texas 78711-2927 512-463-7610 iv TABLE OF CONTENTS Introduction.

2 Vi Summary of Important Points .. vii Explanation of Fields .. viii Explanation of Codes .. ix Explanation of Terms .. xi Amendment Notice .. xiii Category 1: Administrative Records .. 1 Section General .. 1 Section Records Management .. 15 Section State Publications .. 18 Category 2: Information Technology Records .. 19 Section Automated Applications .. 19 Section Computer Operations and Technical Support .. 22 Category 3: Personnel Records .. 25 Section Employee .. 25 Section Payroll .. 33 v Section Personnel 35 Section Time and Leave .. 39 Category 4: Fiscal Records .. 41 Section General Accounting Records .. 41 Section [withdrawn] .. 42 Section [withdrawn] .. 42 Section [withdrawn] .. 42 Section Fiscal and Financial Reports .. 43 Section [withdrawn] .. 44 Section Other Fiscal .. 45 Section Banking Records .. 48 Section Budgeting .. 49 Category 5: Support Services Records .. 50 Section General.

3 50 Section Facility Management .. 55 Section Purchasing .. 59 Section Risk Management .. 61 Section Telecommunications .. 66 Section Vehicles .. 67 vi INTRODUCTION The Texas State Records Retention Schedule (RRS) is adopted as an administrative rule of the Texas State Library and Archives Commission and supersedes the Schedule of august 31, 2016 . This Retention Schedule indicates the minimum length of time listed Records series must be retained by a State agency before destruction or archival preservation. The RRS does not take the place of an agency s Retention Schedule , but it is to be used as a guide by the agency in creating and updating its Schedule . Records series listed on the RRS are those that are commonly found in most State agencies. The Retention periods given in the RRS are required minimums. The commission also recommends them as appropriate maximum Retention periods. In addition to the common Records listed in the RRS, each agency has unique Records series that must be included in its Retention Schedule .

4 Each agency must submit a complete Records Retention Schedule , entered on Form SLR 105, or an approved facsimile, to the State and Local Records Management Division of the Texas State Library and Archives Commission (Government Code, ). Some Records in this Schedule must be transferred to the Archives and Information Services Division of the Texas State Library and Archives Commission for archival preservation after they are no longer needed in the agency; other Records in this Schedule are subject to archival review for historical value by staff of the same division before disposal. If a federal or State statute or regulation specifies a longer Retention period for any Records series received, created, or maintained by an agency, the statute or regulation overrides this Schedule . vii SUMMARY OF IMPORTANT POINTS The RRS does not take the place of an agency Records Retention Schedule . The RRS is to be used as an authoritative guide in creating and updating an agency Records Retention Schedule .

5 Retention periods listed in the RRS are required minimums. Some agencies may need to keep some of the Records listed for longer periods; agency legal staff should be consulted. Federal or State statutes or regulations requiring longer Retention periods override Retention periods in the RRS. For individual Records series, there may be requirements in law or regulation for submitting copies of Records to other State agencies. Each agency should determine any requirements for filing copies that may apply to the agency's specific Records series. TSLAC acknowledges that State agencies that utilize certain State -mandated and State -supported systems, including CAPPS, ABEST, and USAS, may not be the custodians of the Records maintained in those systems. Agencies are advised to consult with their own legal counsel regarding final disposition of those Records . Record copies maintained by the agencies should be retained according to prescribed Retention periods.

6 Each agency must submit a complete Records Retention Schedule to the State and Local Records Management Division of the Texas State Library and Archives Commission. For assistance in evaluating Records having possible historical value, contact the Archives and Information Services Division of the Texas State Library and Archives Commission at 512-463-5455. viii EXPLANATION OF FIELDS Records SERIES ITEM NUMBER Records series item numbers are assigned by the State and Local Records Management Division of the Texas State Library and Archives Commission. Records SERIES TITLE The most general titles possible have been chosen. Explanations are provided for those titles which are not self-explanatory. ARCHIVAL Those Records series that must be transferred to the Archives and Information Services Division of the Texas State Library and Archives Commission for archival management. Archival codes are shown in the lower right corner of each page of the Schedule (see page ix).

7 Retention PERIOD Retention is expressed in years unless otherwise noted. Retention codes are listed in the lower left corner of each page of the Schedule (see page x). REMARKS This column contains citations to applicable federal or State laws or regulations or other information regarding Records Retention requirements. ix EXPLANATION OF CODES ARCHIVAL CODES: A The Records must be transferred to the Archives and Information Services Division of the Texas State Library and Archives Commission. R The Archives and Information Services Division must be contacted for an archival review of the Records before disposition. Those Records determined to be archival must be transferred to the Archives and Information Services Division for long-term preservation. Special Note: Staff of the Archives and Information Services Division conduct archival appraisals on a series by series basis. As a result of these appraisals, one or more Records series of an agency bearing the Archival Code R may be found to lack sufficient archival value to merit transfer to the Archives and Information Services Division.

8 In such instances, the agency will be instructed to use a special Archival Code E for the record series. The following criteria should be considered when identifying archival litigation files (see RSIN ): any landmark legal opinion; cases that change the way an agency operates; any case with a high degree of inherent legal interest; any case that involved significant people or events; any case that received a high degree of media attention; natural resource litigation (land and /or oil disputes with statewide impact, water rights and open beach cases); cases where monetary judgments exceed $10 million; cases involving a minimum of $1 million in State tax revenue; or Records that, in the opinion of the agency s legal counsel, contain highly concentrated, unique, and valuable information unlikely to be found in any other source available to researchers. x Retention CODES: All numbers used with Retention periods are expressed in years unless otherwise indicated.

9 AC After Closed (or terminated, completed, expired, or settled): The record is related to a function or activity with a finite closure date. AV As Long as Administratively Valuable: The immediate purpose for which the record was created has been fulfilled and any subsequent need for the record to conduct the operations of the agency, if any, has been satisfied. CE Calendar Year End: December 31. FE Fiscal Year End: august 31. LA Life of Asset: The record is retained until the deposit of the asset. PM Permanent: A record that possesses enduring legal, fiscal, or administrative value and must be preserved permanently by the agency. US Until Superseded: The record is replaced by an updated version. If a record subject to this Retention period is discontinued or is no longer required by law, the date of supersession is the date the decision to discontinue the record is made or the law takes effect. If the record relates to an employee, the date of supersession is the date of termination or the last date the record is needed with reference to the employee, as applicable.

10 Xi EXPLANATION OF TERMS ARCHIVES NOTE Emphasizes the need for action/attention by agency to ensure Records with archival value are properly maintained/retained. CFR Code of Federal Regulations. Regulations of federal agencies adopted under authority of laws enacted by the Congress. RECORD COPY The document which is kept on file as an original or official record for the total Retention period. It is distinct from a working or convenience copy, which is a duplicate used for reference purposes. Caution: Care must be taken by Records management officers in determining if duplicate Records are, indeed, convenience copies or if two or more copies of the same document must be considered record copies. It is very possible for th e same document to be present in two or more units of a State agency and be the record copy in each unit if it serves a different function in each of those units. Records SERIES A group of identical or related Records with the same function and the same Retention period that is evaluated as a unit for Retention scheduling purposes.